How your CV stacks up
Upload your CV to see how well it fits this job role
?%
Compliance Manager
Location: London (Hybrid)
About the Opportunity
An exciting opportunity has arisen to join a fast-growing, independent wealth management firm managing approximately £3B AUM. The business has experienced significant growth in recent years and continues to invest in its governance, risk, and compliance framework to support its ambitious growth plans.
Reporting into the Head of Compliance, you'll play a key role in maintaining and enhancing the firm's compliance framework, ensuring the business continues to meet its regulatory obligations while supporting commercial growth.
This is a broad, hands-on role suited to someone who enjoys partnering with the business, improving governance frameworks, and providing practical compliance advice across a regulated wealth management environment.
The Role
Working closely with senior stakeholders across the business, you will help oversee the firm's compliance arrangements, maintain policies and procedures, and provide day-to-day regulatory guidance.
Key responsibilities include:
- Maintaining and enhancing the firm's Compliance Framework, ensuring it remains aligned with FCA regulatory requirements and industry best practice.
- Reviewing, drafting, and updating compliance policies, procedures, and internal standards.
- Monitoring regulatory developments and horizon scanning, assessing the impact of new rules, and implementing required changes across the business.
- Providing practical compliance advice and guidance to business stakeholders on day-to-day regulatory matters.
- Supporting the delivery of the annual Compliance Monitoring Plan and assisting with thematic reviews.
- Preparing compliance reports, management information, and regulatory updates for senior management and governance committees.
- Assisting with regulatory reporting and ongoing FCA obligations where required.
- Supporting the implementation of Consumer Duty requirements and ensuring good customer outcomes remain embedded within business processes.
- Delivering compliance training and promoting a strong culture of regulatory awareness across the organisation.
- Supporting internal audits, external regulatory reviews, and requests for information.
- Working collaboratively with Risk, Operations, and the wider business to ensure regulatory requirements are effectively embedded.
- Identifying opportunities to improve compliance processes, controls, and governance arrangements.
Reasons to use Rodeo
Start with a chat, not a search bar
Grad scheme, placement, apprenticeship? Not sure what you want yet — that's fine. Your agent talks it through with you and turns "I have no idea" into a shortlist.
It searches the market for you
Every day your agent scans the market matching roles against what actually matters to you, not just keywords on a CV.
Only hits
No noise. No "maybe this fits." Just roles with a clear explanation of why they're right — and where to focus when applying.
About You
We're looking for someone with a strong understanding of FCA regulation who enjoys working across a broad range of compliance responsibilities within a collaborative business.
You'll ideally have:
- Previous Compliance experience within a Wealth Management, Financial Planning, or Investment Management environment.
- Strong working knowledge of the FCA Handbook and UK regulatory framework.
- Experience developing and maintaining compliance policies, procedures, and governance documentation.
- Knowledge of Consumer Duty and its practical application.
- Experience monitoring regulatory change and implementing new regulatory requirements.
- Excellent written communication skills with the ability to produce high-quality reports, policies, and committee papers.
- Strong stakeholder management skills with the confidence to advise colleagues at all levels.
- A proactive, organised, and solutions-focused approach.
- Relevant professional qualifications (such as the ICA Diploma, CISI Compliance qualifications, or equivalent) would be advantageous but are not essential.
Get help with your application
Your very own career expert that helps elevate your application to the next level.
What's on Offer
- Broad exposure across all areas of Compliance with genuine opportunities to influence and improve the regulatory framework.
- Work closely with senior leadership in a collaborative, supportive environment.
- Excellent opportunities for professional development and career progression.
- Competitive salary and comprehensive benefits package.
- Hybrid working model.
- Be part of an ambitious, high-growth business where Compliance is viewed as a trusted business partner rather than a purely advisory function.
“It took my CV and asked me questions relevant to understanding what kind of jobs to suggest for me. Suggestions were almost perfect. Jobs were exactly what I’ve been looking for.”
Jessica, London
Skills
Location